Our Regulatory Information forms part of, and is incorporated into, these Legal Notices:

1. Our Firm

Pett, Franklin & Co. LLP is a Limited Liability Partnership registered in England & Wales (registered number: OC354096). The word ‘partner’, used in relation to this LLP, refers to a member of the LLP. A list of the members of this LLP is displayed at the registered office of the LLP: Victoria House, 116 Colmore Row, Birmingham B3 3BD.

We are regulated as an Alternative Business Structure (“ABS”) by the Solicitors Regulation Authority (No. 534342). Information on the regulations of The Solicitors Regulation Authority of England and Wales can be found in the Solicitors’ Code of Conduct on its site at: http://www.sra.org.uk/solicitors/code-of-conduct.page.

We formerly traded as David Pett & Co., the trading style of David Pett, a recognised sole practitioner, regulated by the Solicitors Regulation Authority No. 518022.

2. Privacy Policy

At Pett Franklin & Co. LLP, we are committed to protecting and respecting your privacy. This policy explains when, how, and why we collect personal data about people who visit and use our website, the conditions under which we may disclose it to others and how we keep it secure.

Who are we?

Pett, Franklin & Co. LLP is a Limited Liability Partnership registered in England & Wales (registered number: OC354096). We are regulated as an Alternative Business Structure (“ABS”) by the Solicitors Regulation Authority (No. 534342). You may contact us: –

  • by post at Pett, Franklin & Co. LLP, Victoria House, 116 Colmore Row, Birmingham B3 3BD;
  • by telephone on 0121 348 7878; or
  • by emailing enquiries@pettfranklin.com.

For data protection purposes, the firm’s representative is Stephen Woodhouse.

On what basis do we collect your information?

We may process your personal data for carefully considered and specific purposes which are in our interests and enable us to enhance the services that we provide, but which we believe also benefit our customers.

We process personal data for certain legitimate business purposes which include some or all of the following: –

  • To provide our services to you;
  • To comply with our statutory and regulatory obligations;
  • To provide communications which we think will be of interest to you;
  • To update you on developments in the field of employee share schemes and provide helpful reminders about obligations (such as reporting obligations);
  • To better understand how people interact with our website and marketing campaigns;
  • To increase our brand awareness;
  • To obtain feedback and improve our marketing activities;
  • To encourage you to visit our website; and
  • To generate additional sales for the firm.

Where we cannot rely on the legitimate interest basis for processing your personal data, we will seek to rely on an alternative lawful basis for processing, for example, by obtaining your consent.

We may also require you to provide personal data in order to comply with our statutory or regulatory requirements, for example, in relation to anti-money laundering. Failure to provide this information may result in the firm being unable to act for you in relation to any given matter.

Why do we collect your information?

We may use your information for the purposes of: –

  • Providing our services;
  • Complying with our statutory and regulatory requirements;
  • Facilitating the operation of the www.pettfranklin.co.uk website;
  • Keeping subscribers to the Pett Franklin newsletter up-to-date with details of services, events, news or information that may be of relevance to them;
  • Requesting feedback on our marketing activities via surveys;
  • Monitoring the effectiveness of our marketing activities on other platforms including LinkedIn and Twitter.

For how long will we store your information?

We will store your personal information on our systems for no longer than we deem reasonably necessary for the purposes outlined above or for the period set out in any contract that you hold with us.

Who can access your information?

We do, on occasion, enter into joint projects with other professional service firms; we may share your information with these business partners for marketing purposes or we may send you information about the relevant services offered by them. Unless required to do so by law, we do not sell, rent or otherwise share your information with other third parties without your consent.

Your rights

Under data protection law, your rights include (but are not limited to) the following: –

  • the right to be informed about the collection and use of your personal information;
  • the right of access to your personal information and supplementary information;
  • the right to have inaccurate personal information rectified (or completed if it is incomplete);
  • the right to have your personal information erased;
  • the right to request the restriction or suppression of your personal information;
  • the right to data portability (i.e. the right to obtain and reuse your personal data for your own purposes across different services);
  • the right to withdraw your consent at any time to the processing of your personal information; and
  • the right to object to processing based on legitimate interests, direct marketing and processing for the purposes of statistics.

If you provide information about another person or company to us, it is your responsibility to ensure that the person or company has given their explicit consent to the processing of personal data.

If you prefer not to receive information from us or our business partners, if your details change, if you wish to amend your preferences regarding how and why we can contact you, and/or if you have any queries about how we will use your information, please contact us on enquiries@pettfranklin.com.

If you have any unresolved complaints about the way we process your personal data, you have the right to complain to the Information Commissioner’s Office (ICO) by visiting ico.org.uk.

Links to other websites

Our website may contain links to other websites run by other companies. This privacy policy only applies to the use of our website. We cannot be responsible for the policies and practices of other websites even if you access them via links on our website.

Review of this policy

We keep our privacy policy under regular review and we will place any updates on this webpage. This privacy policy was last updated on 19 April 2018.

3. Anti-Money Laundering Policy

The Money Laundering Regulations 2007 and the Proceeds of Crime Act 2002 impose a number of obligations on law firms in the United Kingdom. We are required to have a comprehensive system in place so that we can identify our clients, maintain records and make mandatory disclosures. In order for us to act for you we will need to comply with these regulations.

In certain circumstances we may be required to disclose confidential information we have about you to law enforcement authorities. We cannot exercise any discretion in such circumstances, but we will limit any disclosure of information solely to that which is required by law.

4. Financial Services and Markets Act 2000

Pett Franklin is not authorised under the Financial Services and Markets Act 2000 but we are able in certain circumstances to offer a limited range of investment services to clients because we are regulated by the Solicitors Regulation Authority of England and Wales. We can provide these investment services if they are an incidental part of the professional services we have been engaged to provide.

Because we are not authorised by the UK Financial Services Authority, we are retained only to provide legal and tax advice to our clients. We will not give advice on the merits of any investment, and our advice should not be understood to be an invitation or inducement to engage in investment activity.

5. Bribery Act 2010

Pett Franklin is committed to ensuring that it, its employees, partners and agents comply with the requirements of the UK Bribery Act 2010. We have a zero-tolerance approach towards bribery and corruption.

We implement a risk-based approach in identifying any risks of Bribery and we reserve the right not to conduct business with any party that does not make similar commitments.

6. Disclaimer

Whilst every effort has been made to ensure the accuracy of the information contained on this website, no responsibility can be taken by Pett Franklin for the consequences of any action or omission in reliance upon any statement made herein.

We are not responsible for, nor do we endorse the content of any third party website, and we accept no liability in connection with any such website. Advice should always be sought from us, or from any other suitably qualified and experienced professional practitioner, before taking any steps in response to anything on this website.

7. Limitation of liability

Please note that Pett Franklin (“the Firm”) must necessarily decline to act for, advise or enter into any engagement or solicitor/client relationship of any kind with any company, organisation or other person unless such person first agrees and accepts that the liability of the Firm, and of any member or employee or consultant of the Firm in relation to any advice given or work undertaken for the client is limited to an aggregate amount not in any event exceeding £3 million.

8. Copyright Notice

The contents of these pages are © Pett Franklin 2017.

You may print or download to a local hard disk extracts for your personal use. You may also copy materials on this site to third parties for non-commercial purposes, provided the third party has agreed to the terms of our Legal Notices, and you also acknowledge this website as the source of the material.

No commercial use is permitted without our prior written consent.

9. Complaints

We will always treat feedback or complaints seriously. If you have any feedback or a complaint about us or our services (including our fees) please contact Stephen Woodhouse or William Franklin either by email at enquiries@pettfranklin.com or by calling 0121 348 7878 and we will initiate our Client Complaints Procedure (a copy of which can be sent to you on request).

If we are unable to resolve a problem between us, you may contact the Legal Ombudsman using the following details:

Legal Ombudsman
PO Box 6806

Tel: 0300 555 0333

Email: enquiries@legalombudsman.org.uk

There is a time limit for referral of complaints to the Legal Ombudsman of, ordinarily, six months from our final response to your complaints and one year from when you realised there was a concern.

See www.legalombudsman.org.uk for further information.

If your complaint is about our fees, you may also apply to the court for an assessment of the bill under Part III of the Solicitors’ Act 1974. If all or part of a bill remains unpaid, we may be entitled to charge interest.

10. Professional indemnity insurance

Pett Franklin maintains professional indemnity insurance cover for our professional services in the UK. Our insurer is Axis Specialty Europe SE of 4th Floor, Plantation Place South, 60 Great Tower Street, London, EC3R 4AZ, United Kingdom.

11. Value Added Tax

Pett Franklin is registered for Value Added Tax (VAT), our registered number is GB 975 5574 66.